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- Tasks: Review and audit compliance requests while staying updated on financial regulations.
- Company: Dynamic investment brokerage with a strong compliance culture and international presence.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Why this job: Join a leading firm and make a real impact in the world of finance.
- Qualifications: Experience in compliance and understanding of financial products is preferred.
- Other info: Exciting opportunities for growth in a fast-paced industry.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: Our client is a full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.
THE RESPONSIBILITIES:
- Review/audit/investigation requests from Exchanges and Regulators
- FATCA and CRS Audit and Advisory; ad hoc tax projects
- Research in relation to keeping up to date on financial regulatory developments
- Monitoring and problem solving with regards to MiFIR transaction reporting
- Monitoring and problem solving with regards to EMIR reporting
- Maintaining accurate records and data in conjunction with regulatory reporting
- Annual and ad hoc Information Requests from Exchanges, Regulators and other bodies
- Ad hoc KYC / compliance requests from counterparties
- Ability to structure and execute on given projects in a time sensitive manner
- To conduct assigned sections of the firms Compliance Monitoring Program
- ISDA Master Agreements, TPAs and other legal documents
- CASS Compliance Monitoring and Advisory support
EXPERIENCE REQUIRED:
- Understanding and experience of industry products (securities, futures, options etc)
- Understanding and previous involvement with Compliance tasks within a related sector
- (Desirable) knowledge and experience of UnaVista and Transaction/Regulatory reporting (EMIR/MiFIR)
- Microsoft Office – Intermediate
- Ability to learn and become proficient with internal systems
For further information please contact Hannah Tabatabai.
Compliance Advisor in London employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advisor in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulatory frameworks like MiFIR and EMIR. Show that you’re not just familiar with compliance tasks but also passionate about staying updated on industry changes.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation and reiterate your interest in the role. It keeps you fresh in their minds.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Advisor role. We love seeing candidates who take the initiative to connect directly with us!
We think you need these skills to ace Compliance Advisor in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience that match the Compliance Advisor role. Highlight any relevant compliance tasks you've tackled in the past, especially those related to regulatory reporting or KYC.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for our client. Don’t forget to mention any specific projects or experiences that relate to the job description.
Showcase Your Knowledge: Demonstrate your understanding of industry products and compliance regulations in your application. Mention any experience with MiFIR, EMIR, or other relevant frameworks to show us you’re up to speed with current financial regulatory developments.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates during the process!
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially MiFIR and EMIR reporting. Familiarise yourself with the latest developments in financial regulations, as this will show your potential employer that you're proactive and well-informed.
✨Showcase Your Problem-Solving Skills
Be prepared to discuss specific examples where you've successfully navigated compliance challenges. Think about times when you had to monitor or resolve issues related to regulatory reporting and how you approached those situations.
✨Get Comfortable with Technical Tools
Since the role involves using systems like UnaVista for transaction reporting, it’s a good idea to demonstrate your technical proficiency. If you have experience with Microsoft Office or any compliance software, be ready to talk about it and how you’ve used these tools effectively.
✨Ask Insightful Questions
Prepare some thoughtful questions about the company’s compliance culture and how they handle audits and regulatory changes. This not only shows your interest in the role but also helps you gauge if the company is the right fit for you.
